MS
Michael K. Simon
NDVR
Boston, MA 02110
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CRD#: 7291833
MS
Professional summary
Michael Kelly Simon, who also goes by Michael K. Simon, is a registered financial advisor currently at NDVR located in Boston, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Michael has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael K. Simon
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of the other business: Thimble Point Acquisition Corp. II ("Thimble Point II") Whether the business is investment-related: Yes, it will issue securities. Address of the other business 195 Church Street, 15th Floor, New Haven, CT 06510 Nature of the other business: special purpose acquisition company Your position, title, or relationship with the other business: I am an advisor to Thimble Point II. Thimble Point II and NDVR, Inc. share an investor, the Pritzker Vlock Family Office. Start date of your relationship: June 24, 2021, Approximate number of hours/month you devote to the other business: 2 Number of hours you devote to the other business during securities trading hours: 2 Briefly describe your duties relating to the other business: Mr. Simon is an advisor to Thimble Point II. Thimble Point II is a special purpose acquisition company (a "SPAC"). Thimble Point II and NDVR share an investor, the Pritzker Vlock Family Office. As an advisor, Mr. Simon might assist Thimble Point II with some or all of the following: (i) sourcing and negotiating with potential business combination targets, (ii) providing business insights when Thimble Point II assesses potent business combination targets and (iii) upon Thimble Point II's request, providing business insights as they work to create additional value in the business or businesses that they acquire. In this regard, as an advisor, Mr. Simon will fulfill some of the same functions as Thimble Point II's board members; however, Mr. Simon does not owe any fiduciary obligations to Thimble Point II nor will Mr. Simon perform board or committee functions or have any voting or decision-making capacity on Thimble Point II's behalf. Mr. Simon is not required to devote any specific amount of time to Thimble Point II's activities. He expects to spend approximately 2 hours per month, during securities trading hours, on these activities. Mr. Simon is not paid a salary for his work as an advisor to Thimble Point II and he has no employment, consulting fee or other similar compensation arrangements with Thimble Point II. Mr. Simon previously served as an advisor to another SPAC, Thimble Point Acquisition Corp. ("Thimble Point I"). In June 2021, the investors that launched Thimble Point I launched a second SPAC, Thimble Point II. Mr. Simon agreed to serve in the same advisory capacity with respect to Thimble Point II that he did for Thimble Point I. Subsequently, in December 2021, Thimble Point I completed a business combination with Pear Therapeutics, Inc., and ceased independent operations. As a result of that combination, Mr. Simon's role as an advisor to Thimble Point I ceased. Mr. Simon continues to serve as an advisor to Thimble Point II. He did not actively advise either entity since Thimble Point II was launched.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Kelly Simon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 8, 2021 - Present
NDVR
Office #1: 24 Federal St., Boston, MA 02110RIA
CRD#: 310602
Boston, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ND
NDVR
NDVR | NDVR, INC.
CRD#: 310602 / SEC#: 801-120289
RIA
Registered Investment Advisory firm - (2/8/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Massachusetts(2/8/2021)
Current Firm
ND
NDVR
NDVR | NDVR, INC.
CRD#: 310602 / SEC#: 801-120289
RIA
Registered Investment Advisory firm - (2/8/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
75 State Street Suite 100, Boston, MA 02109
Mailing Address
Phone number
(857) 326-6992
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 345 |
| AUM (Assets Under Management) | $ 203,828,690 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 08/23/2023 | ||
| 09/28/2022 |
Red Flags
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Company Information
NDVR
CRD#: 310602Boston, MA 02110TRUST BUT VERIFY
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